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Department of Commerce:
Securities Commission
Entity: Department of Commerce
Body: Securities Commission
Subject: Securities
Notice Title: Securities Commission Meeting
Notice Type: Meeting
Event Start Date & Time: March 21, 2019 09:00 AM
Event End Date & Time: March 21, 2019 12:00 PM
Description/Agenda:
Utah Securities Commission March 21, 2019 9:00 A.M - 12:00 P.M., Room 451 Agenda Welcome & Call to Order Tab 1: Approval of the January 24, 2019 Minutes Director's Report: Tom Brady Section Reports: 1. Enforcement: Dave Hermansen 2. Compliance: Ken Barton 3. Registration & Licensing: Bryan Cowley Tab 2: Education and Training Fund Report: Bryan Cowley Tab 3: Grant Request: Diversify Consideration and Approval of Proposed Orders: Tab 4: Dallas Tall, SD-17-0015: Order on Motion for Summary Judgment (Paula) Tab 5: Lee Charles Rasmussen, SD-19-0003: Stipulation and Consent Order (Sean) Hearing Kenny Andam, SD-16-0034: evidentiary fine Cetera, SD-18-0014: Stipulation and Consent Order (Eric/Tom M) Paul Neuenswander, SD-18-0015: Stipulation and Consent Order (Eric/Tom M)
Notice of Special Accommodations:
Compliant.
Notice of Electronic or telephone participation:
N/A
Other Information
This notice was posted on: January 04, 2019 08:49 AM
This notice was last edited on:
March 20, 2019 11:49 AM
Deadline Date:
March 18, 2019 01:00 AM
Board/Committee Contacts
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